SEC Form 5 · accession 0001225208-16-024129
CUMMINS INC · CMI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pat Ward
Officer — VP - Chief Financial Officer
Period of report
Dec 31, 2015
Accepted (ET)
Jan 15, 2016 · 9:22 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000026172
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| CommonF1 | May 19, 2014 | G | 5,032 | $0.00 | D | 2,954 | D | |
| Common | Jul 15, 2015 | G | 12,046 | $0.00 | A | 15,000 | D | |
| CommonF1 | May 19, 2014 | G | 5,032 | $0.00 | A | 36,751 | I | By Trust |
| Common | Jul 15, 2015 | G | 12,046 | $0.00 | D | 24,705 | I | By Trust |
| CommonF2 | holding | — | — | — | 1,080 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right-to-Buy) | $58.115 | holding | — | — | — | Mar 1, 2012 | Mar 1, 2020 | Common | 5,900 | 5,900 | D |
| Stock Option (Right-to-Buy) | $120.28 | holding | — | — | — | Apr 2, 2014 | Apr 2, 2022 | Common | 11,030 | 11,030 | D |
| Stock Option (Right-to-Buy) | $111.84 | holding | — | — | — | Apr 2, 2015 | Apr 2, 2023 | Common | 15,020 | 15,020 | D |
| Stock Option (Right-to-Buy) | $149.34 | holding | — | — | — | Apr 2, 2017 | Apr 2, 2024 | Common | 11,220 | 11,220 | D |
| Stock Option (Right-to-Buy) | $136.82 | holding | — | — | — | Apr 2, 2018 | Apr 2, 2025 | Common | 15,420 | 15,420 | D |
| Stock Option (Right-to-Buy) | $119.77 | holding | — | — | — | May 2, 2013 | May 2, 2021 | Common | 8,150 | 8,150 | D |
Explanation of responses
- F1Transaction Code in Table I Column 3 should read "G5" to indicate a late-filed Form 5 relating to a bona fide gift.
- F2The number of shares is based on the dollar value of the reporting person's interest in the Cummins Stock Fund under the Company's 401(k) plan as most recently provided by the plan. The actual number of shares underlying the interest is not known since the Cummins Stock Fund is a unitized account consisting of approximately 98% common stock and 2% cash or cash equivalents.